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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Stay the Effectiveness of Specified Expulsions and FINRA Actions

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2025-004

View Received Comments

Last Reviewed or Updated: July 1, 2025

Resources

Notice Rule: SEC Issued Version (pdf 206.39 KB)

Exhibit 5

Details

Public Comments Due

July 8, 2025

File Number

SR-FINRA-2025-004

Rule Type

Notice

Release Number

34-103228

SEC Issue Date

June 11, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Stay the Effectiveness of Specified Expulsions and FINRA Actions

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Stay the Effectiveness of Specified Expulsions and FINRA Actions

Public Comments

Resources

Details